Wellington Management

Compliance Officer

  • Frankfurt am Main
  • zum nächstmöglichen Zeitpunkt
  • Feste Anstellung

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Tracing our roots to 1928, Wellington Management is one of the world’s largest independent investment management firms. With US$1 trillion in assets under management as of September 30, 2018, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, our long-term views and interests are aligned with those of our clients. We are committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because we believe multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, we welcome people with diverse life experiences, fresh ideas, and specialized subject-matter expertise. 

Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 55 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.


As part of the continued expansion of our business in Europe, we are seeking to recruit an experienced Compliance & Money Laundering Officer. This individual will be  responsible for ensuring that our German entity has an appropriate local compliance programme in place. In addition, he/she will take on broader responsibilities within our wider EMEA Compliance team.

The position is likely to be based in Frankfurt. However, we would consider individuals based in Luxembourg (where the firm already has an established team) who are prepared to travel regularly to the Frankfurt office. This individual will report to the EMEA Chief Compliance Officer in London, and to the Geschäftsführer of Wellington Management Germany in Frankfurt.


Responsibilities will include the following:

  • * Developing and managing the compliance programme for Wellington Management Europe;
  • * Acting as the local Money Laundering Reporting Officer;
  • * Liaising with with BaFIN and local auditors as necessary;
  • * Ensuring that appropriate regulatory policies and procedures are in place, and understood by business units (and providing training as appropriate);
  • * Providing advice to the business units on regulatory developments in Germany and the EU;
  • * Building a programme to oversee delegated activities. This will involve close liaison with colleagues in other Wellington offices around the globe, where there are similar requirements;

Additional Compliance responsibilities will be dependent on the individual’s skills and experience, but might include some of the following: helping the team which covers our UCITS funds in Luxembourg, advising on client guideline issues, anti-money laundering controls, and/or beneficial ownership oversight.


The successful candidate is likely to have:

  • * 10+ years of relevant financial services experience, ideally gained within the Asset Management industry;
  • * A good working knowledge of various asset classes and security types;
  • * A good working compliance knowledge, and knowledge of German regulatory requirements;
  • * Good business judgment, and the ability to work under pressure;
  • * The ability to work independently;
  • * Fluency in German and English (speaking and writing).

Please note that we are only able to respond to successful applicants.


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